Last week, the SEC named Kathleen M. Griffin as its first Chief Compliance Officer.
The agency stated that the new position was created to “streamline and centralize oversight responsibility for employee securities transactions and financial disclosure reporting.” Griffin will head a new compliance unit within the SEC’s Office of Ethics Counsel.
Griffin comes to the SEC from Putnam Investments, where she was Vice President, Senior Compliance Manager, and Deputy Code of Ethics Officer.
The position was created to streamline and centralize oversight responsibility for employee securities transactions and financial disclosure reporting. Ms. Griffin, who has extensive experience in establishing and guiding compliance programs, will head a new compliance unit within the SEC’s Office of Ethics Counsel.
